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Eccleston Law Blog

FINRA Signals Stronger Enforcement Focus on Reg BI, Excessive Trading, and Best Execution

June 30th, 2026 at 12:23 PM
The Financial Industry Regulatory Authority (FINRA) plans to intensify its enforcement efforts against Regulation Best Interest (Reg BI) violations, excessive trading, options trading, churning, and best execution failures after bringing a record number of retail investor protection cases in 2025, according to ThinkAdvisor.
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Former Arvest Wealth Representative Sanctioned by FINRA Over Improper Use of Mistaken Commission Payment

June 29th, 2026 at 10:55 AM
The Financial Industry Regulatory Authority (FINRA) has suspended former Arvest Wealth representative Brandon Still for 18 months and fined him $5,000 after determining that he improperly used firm funds that were mistakenly deposited into his account.
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FINRA Seeks to Make Remote Inspection Program Permanent

June 26th, 2026 at 2:10 PM
The Financial Industry Regulatory Authority (FINRA) is seeking approval from the Securities and Exchange Commission (SEC) to make its pandemic-era remote inspections program permanent before the current pilot is scheduled to expire in June 2027, according to AdvisorHub and FINRA's summary of its recent Board of Governors meeting.
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SEC Alleges Illinois Investment Adviser Misappropriated Investor Funds and Concealed Losses

June 25th, 2026 at 11:10 AM
According to a litigation release published on SEC.gov, the Securities and Exchange Commission (SEC) has charged John Sterling Myers and his firms, Sterling Capital, LLC and Sterling Capital Management, LLC, with orchestrating a multi-year fraud involving investor funds held in a pooled investment vehicle.
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FINRA Suspends Former Broker Over Undisclosed Business Activities, Annuity Recommendation, and Customer Data Violations

June 24th, 2026 at 12:55 PM
The Financial Industry Regulatory Authority (FINRA) has suspended former registered representative Clayton K.
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NASAA Advances Investment Adviser Advertising Reforms and Franchise Broker Registration Framework

June 23rd, 2026 at 10:55 AM
The North American Securities Administrators Association (NASAA) has approved significant regulatory initiatives aimed at modernizing oversight of investment advisers and strengthening protections for individuals considering franchise investments.
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Illinois Regulators Accuse "Mr. Finance" of Operating Unlicensed Investment Scheme

June 22nd, 2026 at 1:40 PM
Illinois securities regulators have accused a Chicago-area businessman known as "Mr.
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FINRA Suspends Former Stifel Rep for Undisclosed Customer Settlements

June 19th, 2026 at 2:25 PM
The Financial Industry Regulatory Authority (FINRA) has suspended a former Stifel representative for three months and imposed a $10,000 fine after finding that she settled customer complaints without notifying her firm and conducted securities-related communications through an unapproved personal device.
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Silver Star Properties REIT Files for Chapter 11 Bankruptcy Amid Mounting Defaults and Investor Losses

June 18th, 2026 at 11:55 AM
Silver Star Properties REIT, a publicly registered nontraded real estate investment trust formerly known as Hartman Short Term Income Properties XX Inc., has filed for Chapter 11 bankruptcy protection, according to reports by AltsWire.
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As Wealth Management Consolidation Accelerates, Some Advisors Reevaluate the Meaning of Independence

June 17th, 2026 at 12:10 PM
According to AdvisorHub, the independent wealth management industry has entered a new phase of evolution, prompting some advisors to question whether the firms that once championed independence now increasingly resemble the traditional institutions many advisors left behind.
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LATEST NEWS AND ARTICLES

1782836587 Law
June 30, 2026
FINRA Signals Stronger Enforcement Focus on Reg BI, Excessive Trading, and Best Execution

The Financial Industry Regulatory Authority (FINRA) plans to intensify its enforcement efforts against Regulation Best Interest (Reg BI) violations, excessive trading, options trading, churning, and best execution failures after bringing a record number of retail investor protection cases in 2025, according to ThinkAdvisor.

1782744905 Law
June 29, 2026
Former Arvest Wealth Representative Sanctioned by FINRA Over Improper Use of Mistaken Commission Payment

The Financial Industry Regulatory Authority (FINRA) has suspended former Arvest Wealth representative Brandon Still for 18 months and fined him $5,000 after determining that he improperly used firm funds that were mistakenly deposited into his account.

1782497406 Law
June 26, 2026
FINRA Seeks to Make Remote Inspection Program Permanent

The Financial Industry Regulatory Authority (FINRA) is seeking approval from the Securities and Exchange Commission (SEC) to make its pandemic-era remote inspections program permanent before the current pilot is scheduled to expire in June 2027, according to AdvisorHub and FINRA's summary of its recent Board of Governors meeting.